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7 Nov 2022, 3:15 am
Insider trading is just one of the many topics that the SEC’s Enforcement Division is focused on right now, according to a PLI speech last week from SEC Chair Gary Gensler. [read post]
6 Nov 2022, 10:27 am
The press release concerning the rules’ adoption quotes SEC Chair Gary Gensler as saying that the new rules “fulfill Dodd-Frank’s mandate and Congress’s intention to prevent executives from keeping compensation received based on misstated financials. [read post]
4 Nov 2022, 6:30 am
Securities and Exchange Commission, on Thursday, November 3, 2022 Tags: Dodd-Frank Act, Form N-PX, Proxy voting, Say on pay, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Form N-PX Posted by Gary Gensler, U.S. [read post]
3 Nov 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
3 Nov 2022, 6:31 am
SEC Chair Gary Gensler suggested that the classification part of the proposal would keep funds honest about which of their assets are truly liquid, analogizing the problem to his inability to classify gummy bears as fruit. [read post]
3 Nov 2022, 6:30 am
Posted by Gary Gensler, U.S. [read post]
31 Oct 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
30 Oct 2022, 11:31 am
As the Journal noted in an October 26, 2022 editorial (here), the SEC under Chair Gary Gensler has been issuing regulations “at a furious pace. [read post]
30 Oct 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
29 Oct 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
27 Oct 2022, 7:47 am
SEC Chair Gary Gensler believes these rules will “better protect investors by requiring that investment advisers take steps to continue to meet their fiduciary and other legal obligations regardless of whether they are providing services in-house or through outsourcing, whether through third parties or affiliates. [read post]
27 Oct 2022, 5:39 am
According to Gensler, shareholder documents are among the most important documents fund investors receive, but retail investors often have to sift through over 100 pages of information. [read post]
26 Oct 2022, 12:56 pm
In announcing the rule amendments, SEC Chair Gary Gensler praised the whistleblower program noting that it “has greatly aided the Commission’s work to protect investors. [read post]
25 Oct 2022, 3:15 am
SEC Chair Gary Gensler picked up on this theme in a speech at the SIFMA Annual Meeting yesterday, setting up his remarks by noting how both the Commission and the Southeastern Conference were born in 1933, and both organizations are focused on competition. [read post]
21 Oct 2022, 7:05 am
Nelson, J.D.A group of 10 GOP members on the House Financial Services Committee led by Ranking Member Patrick McHenry (R-NC) sent a letter to SEC Chair Gary Gensler seeking further explanation for the agency’s reopening release issued October 7, 2022, which reopened the comment period on 11 proposed rulemakings in which some public commenters’ comments were not received by the SEC due to a technical error. [read post]
21 Oct 2022, 2:52 am
Companies and their advisors aren’t the only ones struggling to keep pace with SEC Chair Gary Gensler’s “front-loaded” rulemaking agenda – the Staff is also feeling the pressure, according to a recent report from the SEC’s inspector general and a related WSJ article. [read post]
17 Oct 2022, 6:30 am
Rulemaking Activity An Active Rulemaking Period with Gary Gensler at the Helm of the SEC Since taking office as the SEC Chair in April 2021, Gary Gensler’s SEC has been busy publishing rule proposals, targeting current hot-button areas such as issuer share repurchases, insider trading and cybersecurity as well as topics such as clawback rules and pay-versus-performance disclosure, which have been a part of the SEC agenda since the Dodd-Frank Act was enacted… [read post]
16 Oct 2022, 6:30 am
The landscape appears to be changing under Gary Gensler’s leadership of the SEC. [read post]
14 Oct 2022, 7:17 am
SEC Chair Gary Gensler stated that Kardashian’s case is “a reminder to celebrities and others that the law requires them to disclose to the public when and how much they are paid to promote investing in securities. [read post]
5 Oct 2022, 8:00 am
By failing to honor their recordkeeping and books-and-records obligations, the market participants we have charged today have failed to maintain that trust,” said SEC Chair Gary Gensler. [read post]
